| S.No. |
PERSON |
ENTITY |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 681 |
|
RAMIT CHAUDHRI
(PAN:ADXPC7706P)
|
|
|
INDULGED IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION AND COMMUNICATED UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(E) OF SEBI ACT, 1992 AND REGULATION 3(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF INFOSYS LTD.
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 31-JAN-2025 TO 30-JAN-2026
DIRECTED TO IMPOUND BANK ACCOUNTS
DIRECTED TO OPEN ESCROW ACCOUNT WITH NATIONALISED BANK JOINTLY OR SEVERALLY AND DEPOSIT IMPOUNDED AMOUNT
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED BANKS TO ENSURE COMPLIANCE OF THE DIRECTIONS ISSUED BY SEBI FROM 31-JAN-2025 TO 30-JAN-2026
DIRECTED BANKS TO ENSURE THAT NO DEBITS ARE MADE IN BANK ACCOUNTS HELD JOINTLY OR SEVERALLY
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
27-SEP-2021
|
SAT: SAT VIDE ITS ORDER DATED 27/10/2021 DISPOSED OFF THE APPEAL WITH THE DIRECTION THAT IT WOULD BE OPEN TO APPELLANT TO FILE REPLY ALONG WITH STAY VACATING APPLICATION WITHIN TWO WEEKS FROM DATE OF THIS ORDER
SEBI VIDE ITS ORDER DATED 13/12/2021 CONFIRMED DIRECTIONS ISSUED VIDE ITS EX-PARTE AD-INTERIM ORDER DATED 27/09/2021 SUBJECT TO MODIFICATION: A) NOT APPLY TO INVESTMENT IN MUTUAL FUNDS AND B) ALLOWED CREDIT OF SECURITIES AND CREDIT & DEBIT OF MUTUAL FUND UNITS IN THE ACCOUNTS
SAT: SAT VIDE ITS ORDER DATED 22/11/2021 DISPOSED OF THE APPLICATIONS. DIRECTED WTM TO HEAR THE MATTER ON 01/12/2021 AND PASS APPROPRIATE ORDER ON OR BEFORE 15/12/2021
SAT: SAT VIDE ITS ORDER DATED 17/01/2022 DISPOSED OFF THE URGENCY APPLICATION BY DIRECTING REPLY TO BE FILED WITHIN 10 DAYS AND REJOINDER ON OR BEFORE NEXT DATE
SAT: SAT VIDE ITS ORDER DATED 30/03/2022 PARTLY ALLOWED THE APPEAL AND MODIFY THE INTERIM ORDER AS WELL AS THE CONFIRMATORY ORDER TO EXTENT THAT THE DIRECTION TO DEPOSIT THE ALLEGED UNLAWFUL GAINS OF RS. 261.30 LAC IN ESCROW ACCOUNT WILL CONTINUE TO OPERATE TILL FINAL ORDER ARE PASSED BY THE WTM PURSUANT TO SHOW CAUSE NOTICE. SET ASIDED INTERIM ORDER AS WELL AS CONFIMATORY ORDERS DATED 13/12/2021 AND 27/09/2021
SEBI VIDE ITS ORDER DATED 31/01/2025 DIRECTED TO A) RESTRAINED FROM ACCESSING THE SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES (INCLUDING UNITS OF MUTUAL FUNDS), DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER FOR A PERIOD OF ONE YEAR FROM DATE OF THIS ORDER
|
| 682 |
|
|
RANA RAJESH KUMAR GANGAHAR
(PAN:AATPR0373A)
|
|
|
DID NOT OBTAIN PRE-CLEARANCE OF TRADES VIOLATING CLAUSE 3.3 OF MODEL CODE OF CONDUCT AS SPECIFIED IN SCHEDULE I PART A READ WITH REGULATION 12(1) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF UNITECH LTD.
ENTERED INTO OPPOSITE TRANSACTIONS WITHIN SIX MONTHS FOLLOWING PRIOR TRANSACTIONS VIOLATING CLAUSE 4.2 OF MODEL CODE OF CONDUCT AS SPECIFIED IN SCHEDULE I PART A READ WITH REGULATION 12(1) OF SEBI (PIT) REGULATIONS 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF UNITECH LTD.
|
IMPOSED PENALTY RS.6,00,000
30-SEP-2022
|
|
| 683 |
|
|
RANJANA PATHAK
(PAN:BJZPP9760P)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF CIPLA LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.3,00,000 VIDE CONSENT ORDER)
23-SEP-2019
|
|
| 684 |
|
|
RASHESH P.PUROHIT
(PAN:ADQPP1270Q)
|
|
|
COMMUNICATED UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(E) OF SEBI ACT, 1992 AND REGULATION 3(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF TV VISION LTD.
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF TV VISION LTD.
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 24-MAR-2023 TO 23-MAR-2024
IMPOSED PENALTY RS.20,00,000
24-MAR-2023
|
SEBI VIDE ITS NOTICE DATED 14/12/2023 DIRECTED TO PAY RS.29,90,519.58 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 685 |
|
|
RASHESH P.PUROHIT
(PAN:ADQPP1270Q)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF TV VISION LTD.
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 24-MAR-2023 TO 23-SEP-2023
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
DIRECTED TO DISGORGE RS.19,14,879
24-MAR-2023
|
SEBI VIDE ITS NOTICE DATED 08/12/2023 DIRECTED TO PAY RS.22,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
|
| 686 |
|
|
RASHILABEN KISHORBHAI KADVANI
(PAN:ACKPK8261D)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED REGULATIONS 13(4A) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ATLANTA INFRASTRUCTURE & FINANCE LTD.
|
IMPOSED PENALTY RS.50,000
30-AUG-2022
|
SEBI VIDE ITS NOTICE DATED 27/07/2023 DIRECTED TO PAY RS.57,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 18/10/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6977 OF 2023 DATED 27/07/2023
|
| 687 |
|
|
RAVI AGRAWAL
(PAN:BBAPA5391J)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF MAHAMAYA STEEL INDUSTRIES LTD.
|
IMPOSED PENALTY RS.1,00,000
05-OCT-2018
|
SAT: SAT VIDE ITS ORDER DATED 25/03/2019 APPEAL DISMISSED AND DIRECTED APPELLANT TO DEPOSIT PENALTY AMOUNT WITHIN 30 DAYS FROM DATE OF THIS ORDER
|
| 688 |
|
|
RAVI CHAKRAVARTHY
(PAN:AJXPR4789F)
|
|
|
MADE FALSE REPRESENTATION IN NEWSPAPERS OF BUYBACK, PREFERENTIAL ALLOTMENT AND BONUS ISSUE OF SHARES OF VITAL COMMUNICATIONS LTD.
DID NOT FRAME CODE OF CONDUCT FOR PREVENTION OF INSIDER TRADING VIOLATING REGULATION 12(1) READ WITH CLAUSE 1.2 OF SCHEDULE I OF PART A OF MODEL CODE OF CONDUCT UNDER SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF EXELON INFRASTRUCTURE LTD.
|
IMPOSED PENALTY RS.12,00,000
28-JAN-2019
|
|
| 689 |
|
|
RAVI KANT JAIPURIA
(PAN:ANJPJ6194Q)
|
|
|
ALLEGED COMMUNICATION OF UNPUBLISHED PRICE SENSITIVE INFORMATION TO OTHERS VIOLATING SECTIONS 12A(E) OF SEBI ACT, 1992 READ WITH REGULATION 3(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF VARUN BEVERAGES LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.55,90,000 VIDE CONSENT ORDER)
21-JUN-2022
|
|
| 690 |
|
|
RAVI KANTH SANKURATRI
(PAN:AYZPS7331R)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 4(1) READ WITH 4(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF APEX FROZEN FOODS LTD.
PROCURED UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(E) OF SEBI ACT, 1992 AND REGULATION 3(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF APEX FROZEN FOODS LTD.
|
IMPOSED PENALTY RS.10,00,000
28-MAR-2023
|
SAT: SAT VIDE ITS ORDER DATED 05/10/2023 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 29/11/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 15/12/2025 ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDER DATED 28/03/2023. NO COSTS
|
| 691 |
|
|
RAVI KANTH SANKURATRI
(PAN:AYZPS7331R)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTIONS 12A(D) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 4(1) READ WITH 4(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF APEX FROZEN FOODS LTD.
PROCURED UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(E) OF SEBI ACT, 1992 AND REGULATION 3(2) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF APEX FROZEN FOODS LTD.
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 28-MAR-2023 TO 27-MAR-2025
DIRECTED TO DISGORGE RS.35,67,260
DIRECTED TO REMIT DISGORGED AMOUNT TO INVESTOR PROTECTION & EDUCATION FUND (IPEF)
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
28-MAR-2023
|
SAT: SAT VIDE ITS ORDER DATED 05/10/2023 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 29/11/2023 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 15/12/2025 ALLOWED THE APPEAL AND SET ASIDE IMPUGNED ORDER DATED 28/03/2023. NO COSTS
|
| 692 |
|
|
RAVI KELOTRA
(PAN:CSLPK9114L)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SHAKTI PUMPS (INDIA) LTD.
|
IMPOSED PENALTY RS.1,00,000
01-DEC-2022
|
SAT: SAT VIDE ITS ORDER DATED 31/03/2023 ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 24/04/2023 CONDONED THE DELAY IN FILING OF APPEAL. DIRECTED APPELLANT TO DEPOSIT PENALTY AMOUNT PURSUANT TO IMPUGNED ORDER. IF THE AMOUNT DEPOSITED, ACCOUNT WOULD BE DEFREEZE WITHIN FORTY EIGHT HOURS
SEBI VIDE ITS ORDER DATED 02/05/2023 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.6275 OF 2023 DATED 20/02/2023
SAT: SAT VIDE ITS ORDER DATED 12/09/2023 ALLOWED THE APPEAL AND QUASHED IMPUGNED ORDER DATED 01/12/2022
|
| 693 |
|
|
RAVI KUMAR VADLAMANI
(PAN:AEWPV3295G)
|
|
|
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 AND SECTIONS 12A(D) AND (E), 15G (I) AND 15HB OF SEBI ACT, 1992 IN MATTER OF DCB BANK LTD.
ALLEGED INDULGENCE IN TRADING WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING CLAUSE 6 OF MINIMUM STANDARD FOR CODE OF CONDUCT UNDER SCHEDULE B READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF DCB BANK LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.66,93,750, DISGORGEMENT AMOUNT (PAYABLE TO INVESTORS) RS.5,26,800, INTEREST RS.3,35,651 VIDE CONSENT ORDER)
09-MAR-2021
|
|
| 694 |
|
|
RAVI PRADUMAN SETHI
(PAN:ANBPS5751L)
|
|
|
DID NOT FRAME AND IMPLEMENT CODE OF CONDUCT VIOLATING REGULATION 12(1) READ WITH CLAUSE 1.2 OF SCHEDULE I PART A OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF ALEXANDER STAMPS & COIN LTD. (FORMERLY KNOWN AS RUDRAKSH CAP TECH LTD.)
|
IMPOSED PENALTY RS.1,00,000
28-FEB-2020
|
|
| 695 |
|
|
RAVI SHANKAR
(PAN:DYLPS7861H)
|
|
|
DID NOT FILE ACCURATE AND TIMELY DISCLOSURE TO STOCK EXCHANGES REGARDING RECEIPT OF PETITION FILED BY MACQUARIE BANK LTD. VIOLATING REGULATIONS 6(2)(A) TO 6(2)(C) OF SEBI (LODR) REGULATIONS, 2015 IN MATTER OF SHILPI CABLE TECHNOLOGIES LTD.
DID NOT CLOSE TRADING WINDOW DURING THE TIME OF UPSI PERIOD VIOLATING CLAUSE 4 OF MINIMUM STANDARDS FOR CODE OF CONDUCT TO REGULATE, MONITOR AND REPORT TRADING BY INSIDERS AS SPECIFIED IN SCHEDULE B READ WITH REGULATION 9(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SHILPI CABLE TECHNOLOGIES LTD.
|
IMPOSED PENALTY RS.5,00,000
12-JUL-2023
|
SEBI VIDE ITS NOTICE DATED 06/09/2023 DIRECTED TO PAY RS.5,16,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS ORDER DATED 19/01/2024 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SEBI VIDE ITS NOTICE DATED 02/02/2024 ALLOWED THE APPEAL AND DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 19/01/2024
SEBI VIDE ITS ORDER DATED 02/02/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.7120 OF 2023 DATED 06/09/2023
|
| 696 |
|
|
RAVIKUMAR KAVITHA
(PAN:BSQPK6425C)
|
|
|
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AS REQUIRED UNDER REGULATION 7(2)(A) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF MINDTREE LTD.
|
IMPOSED PENALTY RS.1,00,000
27-JUN-2022
|
|
| 697 |
|
|
RAVINDER DESHPANDE
(PAN:AGOPD8942N)
|
|
|
DID NOT FRAME CODE OF CONDUCT FOR PREVENTION OF INSIDER TRADING VIOLATING REGULATION 12(1) READ WITH CLAUSE 1.2 OF SCHEDULE I OF PART A OF MODEL CODE OF CONDUCT UNDER SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF EXELON INFRASTRUCTURE LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO STOCK EXCHANGES AS REQUIRED UNDER REGULATIONS 13(2) AND 13(4) READ WITH 13(5) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF EXELON INFRASTRUCTURE LTD.
|
IMPOSED PENALTY RS.4,00,000
28-JAN-2019
|
SEBI VIDE ITS NOTICE DATED 09/07/2019 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SAT: SAT VIDE ITS ORDER DATED 04/03/2020 PARTLY ALLOWED THE APPEAL AND QUASHED PENALTY OF RS.2 LACS UNDER REGULATION 12(1) READ WITH CLAUSE 1.2 OF SCHEDULE I OF PART A OF MODEL CODE OF CONDUCT UNDER PIT REGULATIONS, 1992
SEBI VIDE ITS ORDER DATED 18/10/2021 DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS,DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 09/07/2019
|
| 698 |
|
|
RAVINDER SINGHANIA
(PAN:AMQPS4602L)
|
|
|
DID NOT OBTAIN PRE-CLEARANCE OF TRADES VIOLATING CLAUSE 3.3 OF MODEL CODE OF CONDUCT AS SPECIFIED IN SCHEDULE I PART A READ WITH REGULATION 12(1) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF UNITECH LTD.
DID NOT MAKE DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4) OF SEBI (PIT) REGULATIONS, 1992 READ WITH REGULATION 12 OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF UNITECH LTD.
|
IMPOSED PENALTY RS.3,00,000
30-SEP-2022
|
|
| 699 |
|
|
REETHA SHETTY
(PAN:AADPS5018B)
|
|
|
TRADED WHILE IN POSSESSION OF UNPUBLISHED PRICE SENSITIVE INFORMATION VIOLATING SECTION 12A(D) & (E) OF SEBI ACT, 1992 AND REGULATION 4(1) OF SEBI (PIT) REGULATIONS, 2015 IN MATTER OF SUPRAJIT ENGINEERING LTD.
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 27-APR-2021 TO 26-APR-2022
DIRECTED TO DISGORGE RS.1,39,977
27-APR-2021
|
SAT: SAT VIDE ITS ORDER DATED 11/08/2021 ALLOWED APPELLANTS THREE WEEKS TIME TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 18/02/2022 DISPOSED OFF THE APPEAL AS THE CASE HAS BEEN SETTLED BETWEEN THE PARTIES
|
| 700 |
|
|
REETHA SHETTY
(PAN:AADPS5018B)
|
|
|
ALLEGED DELAY IN MAKING DISCLOSURE OF SHAREHOLDING/CHANGES IN SHAREHOLDING TO COMPANY AND/OR STOCK EXCHANGES AS REQUIRED UNDER REGULATION 13(4A) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 1992 READ WITH REGULATION 7(2)(A) OF SEBI (PROHIBITION OF INSIDER TRADING) REGULATIONS, 2015 IN MATTER OF SUPRAJIT ENGINEERING LTD.
|
REACHED SETTLEMENT ( SETTLEMENT CHARGES RS.29,54,738 ALONG WITH OTHER ENTITIES/PERSONS VIDE CONSENT ORDER)
08-FEB-2019
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
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| Page 35 of 50
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